Lira University - Dept.of PAM.

PAM 1101-Introduction to political Science

THE STATE AND ITS ORIGIN

THE STATE

Like power and Authority, the concept state is very central to the study of politics. Despite its
Centrality, there is no agreed definition of what the state is:-

According to Aristotle, a state is a union of families and villages living for a purpose and
involves a perfect and self-sufficient life by which we mean a happy and honorable life.

Basing on Aristotle‟s definition, the following things can be said about the state;

1. The state emerges gradually when families unite to form clans and when clans unite to form
villages and when villages consequently unite to form a state.
2. Aristotle‟s definition also assumes that the objective of the state is to ensure happy life for its
citizen.
3. It also assumes that a state is a self-sufficient institution.

According to “Bodin”, the state is an association of families and their common possessions
governed by the supreme powers and by reason.

The most common used definition of a state is that given by “Max Weber”. According to him, a
state is a group of people or an institution which upholds a claim to be a monopoly of the
legitimate use of physical violence within a given territorial area.

From the various definitions of the state, it is possible to identify the following elements or
characteristics of the state;

1. Population: A state must be composed of people whose rights are derived by the fact that they
occupy a given territorial area. In other words, the state involves people who claim certain
political and civil rights.

2. Territory: A state must occupy a clear and a distinct territory. It is geographically defined and
it includes all those who live within its boundaries.

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Course Facilitator Alex Oryang Chono
Lira University - Dept.of PAM. PAM 1101-Introduction to political Science

3. Government: A state must have a government i.e. a group of people who are responsible for
public policy making within its territorial jurisdiction.

4. International recognition: A state must be internationally recognized i.e. the state must have
the capacity to maintain its integrity by ensuring that its frontiers are respected by other states.

5. Public Sphere: Issues of the state are of public concern to everybody and cannot be relegated
to the private sphere. A state is perceived to be a public body which is responsible for making
and enforcing collective decisions unlike private institutions such as the family which aims at
satisfying individual interests.

6. The right to use violence or force/a state as an instrument of domination: The state
controls the means of repression such as the police, the army and the prison. This is to ensure
that there is security in the country. The state has the capacity to ensure that its laws are obeyed
and its transgressors are punished. This is what Max Weber meant by the statement that the state
has the monopoly of the legitimate use of violence.

7. Sovereignty: A state exercises absolute and unrestricted power in that it stands above all other
associations and groups in a society.

8. Legitimation: All decisions of the state are expected to be accepted as binding all the
members of society because it is claimed that they are made in the interest of the public and for
the common good.

THEORIES OF STATE FORMATION

Theories of state formation which are conventional and contemporary/ modern are those theories
which try to answer the following questions: -

1. How did the state come into existence?

2. What is the role of the state?
3. What is the relationship between the state and the individuals who live in it?
4. Why do people obey Authority?
5. How is the state constituted?

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Course Facilitator Alex Oryang Chono
Lira University - Dept.of PAM. PAM 1101-Introduction to political Science

Various theories try to answer the above questions among which are the following:-

1. The Theory of divine origin.

2. The theory of force
3. Genetic or patriarchal theory
4. Social Contract Theory
5. Marxist theory

CONVENTIONAL THEORIES OF STATE FORMATION

THE THEORY OF DIVINE ORIGIN

This Theory was developed during the Feudal era. It assumes that the state was created by God.
Leaders are therefore, God‟s representative on earth and their power are derived from God.
According to this theory therefore, disobedience to laws or authority is sinful.

THE THEORY OF FORCE:

This is at times called the “Conquest theory” of the state. It assumes that the state originated as
a result of conquest of the weak by the strong. The politically weak were permanently over
powered by the strong that then retained, controlled, and had coercive powers in their hands.

GENETIC OR PATRIACHIAL THEORY OF STATE FORMATION:

According to this theory, the state has its origin in the family as many families became clans;
many clans became tribes in a village or settlement and ultimately, Village settlements assumed
the form of the state with population, territory, government and supreme power. The theory
assumes that all people in the state have a blood relationship.

THE MODERN THEORIES OF STATE FORMATION:

THE SOCIAL CONTRACT THEORY

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Course Facilitator Alex Oryang Chono
Lira University - Dept.of PAM. PAM 1101-Introduction to political Science

The theory of state formation was developed in the 16th Century and 17th Century. It is identified
with three people and these are: -

1. Thomas Hobbes
2. John Locke and
3. Jean Jacques Rousseau.

According to this theory, at the beginning there was no state and people lived in a state of nature.
The state of nature as according to Thomas Hobbes was characterized by the following: -

 Men were brutal, selfish, egoistic (self-centered/selfish) and devoid of a sense of right
and wrong.
 Selfishness and fears made man wage endless wars with his neighbors. It was a case of
war of every man against every man.
 Man‟s condition was solitary, poor, nasty, brutal and short.
 There was no peace and the weak had no chances of survival. Everything depended on
physical power; physical strength determined what was right and wrong.
 There was no morality and no consciousness of obligation. Man loved power and
pleasure in exercising it.
 The spirit of competition prevailed among men.
 There was no political authority or organized power of the community for enforcing law
and establishing peace.
 The only law that prevailed in the state of nature was natural law. (Read Natural Law:
Normative and legal Theories in Political Philosophy).
 Men had freedom to do what they liked. But this freedom was a curse as it resulted into
anarchy.

In order to escape from the horror and anarchy that characterized the state of nature, men made
up their minds to give up their natural freedom and form the state.

According to Hobbes, men gave all their rights i.e. natural rights to supreme power that was
created. (Read Hobbes and the state- political philosophy).

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Course Facilitator Alex Oryang Chono
Lira University - Dept.of PAM. PAM 1101-Introduction to political Science

According to Locke, however, they retained one right and that is the right to rebel against any
oppressive regime. (Read Locke‟s Concept of the State-Political Philosophy).

The state which was created out of the social contract had the following responsibilities: -

1. To protect the lives and properties of the people.

2. To interpret the natural law.
3. To punish people who threaten the lives and properties of others.

In this case, one can ably say that the situation before the formation of the state was undesirable
for which after its formation, the state becomes a permanent feature of human lives as the role of
the state is positive.

MARXIST THEORY OF THE STATE

This theory is associated with three people and these are: -

1. Karl Marx
2. Fredrick Engels and
3. Lenin.

The theory of the state according to Marx has the following elements: -

The state is not natural; it was a product of human creation at one moment of history.

Initially, all human beings lived in a stateless society called the “Primitive Communalist
Society”. This Society was characterized by the following elements.

 Communal ownership of property.

 There was no exploitation of one person by another. In short, a Primitive Communalist
Society was characterized by a high degree of equality.
 There were no social classes; a social class, as according to Marx is the position an
individual finds himself or herself in the process of production.
 This primitive Communalist Society, however, disintegrated when people started
producing social surplus. This was because of a number of factors such as being located
in positions which were productive vis-à-vis other communities. This allowed others to

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Course Facilitator Alex Oryang Chono
Lira University - Dept.of PAM. PAM 1101-Introduction to political Science

accumulate wealth faster than others or to realize social surplus. After acquiring social
surplus, these communities disengaged from production, they started employing other
people to work for them. However, nobody was willing to work for others freely.
Because of this, those with social surplus thought of coercive mechanisms to force
others to work for them. In order to coerce, they created the instruments of coercion such
as the army, police etc. In short, according to Marxism the state emerged under the
following circumstances: -
 When societies started producing social surplus.
 When classes started emerging as a result of production of social surplus.
 When exploitative relationships started developing due to emergence of social classes.

The state therefore, according to Marx is an instrument of class domination and exploitation.

Those with property used the state to exploit and oppress those without property.

COMPARISON BETWEEN THE SOCIAL CONTRACT AND THE MARXIST

THEORY OF STATE FORMATION

SIMILARITIES

1. According to both theories, the assumption is that the state is not natural; it was not
created by God. It was created by human beings. It emerged at a particular point in
history when conflicts became irreconcilable.
2. Both theories start by describing the situation before the state was formed. According to
Social Contract, such a stateless society was referred to as the state of nature while under
Marxism was the primitive communalist society.
3. In both theories, there is no historical evidence to show that people ever came together to
form a state as the social contract theory assumes or that a state emerged out of primitive
communalist society as the Marxist theory assumes.
4. Both theories attribute the formation of the state to internal factors but they do not take
into account external forces that may play a role in state formation.

DIFFERENCES

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Course Facilitator Alex Oryang Chono
Lira University - Dept.of PAM. PAM 1101-Introduction to political Science

1. According to the social contract theory, the role of the state is positive, it protects lives
and property while according to Marxist theory, the state plays a negative role in society
and it is an instrument of oppression and exploitation.
2. According to social contract theory, the state is neutral and serves everybody equally
while according to classical Marxism, the state is an instrument of one class against other
classes.
3. According to Social Contract theory the stateless society before the formation of the state
was horrible and not desirable while according to Marxism, the stateless society before
the formation of state was a good one free from conflicts and highly desirable.
4. Both agree that conflict was central to the formation of the state; they however disagree
on the causes of conflict. According to social contract theory, conflicts are part of human
nature, they are caused by psychological factors in any human being while according to
Marxism conflicts have a materialistic explanation and they only emerged when societies
started producing social surplus. Without social surplus or private property, there will be
no conflicts.
5. According to Marxism, the state will wither away or come to an end at that moment when
the working class takes over power and abolishes private properties. With the removal of
private properties, there will be no exploitation and oppression and without exploitation,
there will be conflict and without conflict, the state will not be necessary. However,
social contract theory on the other hand argues that after the formation of the state it
becomes a permanent feature of human life.
6. According to social contract theory, will and not force was responsible for state
formation, people willingly gave up their natural rights to the supreme power and formed
the state. However, according to Marxism, force was the mechanism of state formation,
people with social surplus used instruments of coercion to form the state.
7. Marxists look at the state only in economic or materialistic point of view while social
contract theorists look at the state from a social point of view.

FUNCTIONS OF THE STATE:

1. ECONOMIC FUNCTION:

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Course Facilitator Alex Oryang Chono
Lira University - Dept.of PAM. PAM 1101-Introduction to political Science

Every state must organize the economy for development. This is done using the money
from taxes and other sources. The state also provides employment opportunities to the
people and it undertakes economic planning and developmental programs in the country.
2. SOCIAL FUNCTION:
The state provides social or public services to its citizens or people who live in it, they
include but are not limited to the following:
 Education, Health, Recreational facilities and many others.
 Maintenance of peace and security. The state provides security to the citizens. It is
the role of the state to protect the lives and properties of the people. It protects the
nation from both internal and external attacks. The state uses the army and the
police to serve this purpose.
 International relations; it is the duty of the state to maintain good relations with
other countries. The state does this through the Ministry of Foreign Affairs and
Regional Cooperation.
3. INFORMATIONAL ROLES OF THE STATE:
The state informs the public about important issues. This involves communication of
policies and activities and that is why the state has the means of communication such as
newspapers, television and radio stations.
4. RULE MAKING:
The state makes rules and regulations that govern the country. This work is done by the
parliament which is one of the organs of the government.
It should be noted that the functions of the state and the government hardly differ because
the functions of the state are carried out and directed by the government.

TYPES/EVOLUTION OF STATES:
States have evolved over time as follows:
1. THE SLAVE STATE
This emerged as a result of conflict in the primitive society namely; the stronger societies
turned weaker ones into slaves. Under this type of state, there were two classes of people;
the masters and the slaves. The masters formed the ruling class and owned all the wealth

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Course Facilitator Alex Oryang Chono
Lira University - Dept.of PAM. PAM 1101-Introduction to political Science

and property. The slaves were taken as property and provided free labor to the masters;
the slaves were also responsible for defending the state and lived a life of servitude.
2. THE FEUDAL STATE.
This state developed from the slave state. It was composed of the landlords and the
tenants or the landless formerly the masters and the slaves respectively. The landlords
depended on the land and charged land dues on the tenants for using his/ her land. Feudal
states were controlled by the king and supported by few people such as the landlords and
the church. The army in the feudal state was composed of the landless and the serfs (an
agricultural laborer who was tied to working on a particular estate).
3. CAPITALIST STATE
A capitalist state is based on private ownership of properties and means of production
such as land, labor, industries, banks etc which are owned privately (the rich class)
capitalist or the bourgeoisie. The workers or the proletariats provide labor for their
survival. The rich dominate state power and the workers have no rights.
4. SOCIALIST STATE
This is a state where all property is owned by the public or the state and all activities are
controlled by the state.
5. THE COMMUNIST STATE.
This is a state where power lies in the hands of the community or the communist party.
There are no classes and everything is communally done and owned.

COMPONENTS OF THE STATE

Components or the apparatus of the state are those organs which help the state to fulfill its
functions. These include: -

1. Political component.

2. Repressive or Coercive component.

3. Administrative component.

4. Regulative component.

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Course Facilitator Alex Oryang Chono
Lira University - Dept.of PAM. PAM 1101-Introduction to political Science

5. Ideological component.

1. POLITICAL APPARATUS/ COMPONENT

This comprises of the president, cabinet ministers and other government representatives. This is
the component that takes care of the day to day running of the state.

2. REPRESSIVE OR COERCIVE COMPONENT

This organ is charged with the duty of maintaining law, order and security; it is made of the
police, the army and other security agencies. The police enforce law and order while the army
protects the state from both internal and external attacks.

3. ADMNISTRATIVE COMPONENT.

This is charged with the duty of administering the public affairs. It is made up of civil servants
like; doctors, teachers, permanent secretaries etc. These apparatus implements government
policies.

4. REGULATIVE COMPONENT.

This helps the state to regulate or control the behavior of its people. It includes the judiciary, and
the prisons which handle law in courts, detain and punish law breakers etc.

5. IDEOLOGICAL APPARATUS.

This is the component that explains the main political belief of the government. It teaches the
youth about the nation‟s political culture. This is done using the mass media and ideological
schools like National School of Leadership at Kyankwanzi.

Differences between a State and Government

1. A state is a permanent entity. Governments on the other hand come and go. In short, they
change quite often. Besides, systems of government can be reformed and remodeled.
2. Government is just part of the state. It is the means through which the authority of the
state is exercised. In other words, it is the brain of the state and probably one of the most
important elements of the state.

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Course Facilitator Alex Oryang Chono
Lira University - Dept.of PAM. PAM 1101-Introduction to political Science

3. The state is supposed to be neutral or „‟impersonal‟‟ at least in theory whereas

government represents the ideology of those controlling it at a particular time. In other
words, key elements of the state such as bureaucracy or civil service, the police and the
military are supposed to be neutral irrespective of whichever government is in power.
4. States are inclusive while governments are exclusive. States are inclusive in that they
embrace all public institutions and all members of the community. Governments are
exclusive in that they embrace only those individuals who share the same ideology with
those in power and those who are involved in the process of policy making and
implementation within the state.
5. The state at least in theory is assumed to represent the permanent interests of the society
i.e, the common good or general will. Government on the other hand represents the
ideology of those who happen to be in power at a particular time. In other words,
government is supposed to be partisan.

FEDERAL STATE/GOVERNMENT

The term Federal is derived from a Latin word “foedus”, which means treaty or
agreement which is made by the different states intending to federate.
Examples of countries practicing federalism include; USA, Switzerland, India,
Australia, Argentina, Brazil, Former USSR, Canada etc.

A federation may be formed in two ways:

1. Through integration. A number of states which were at first separate and

sovereign may come together and form a federation by accepting common
sovereignty. Favorable centripetal forces may aid the formation of federations.
The federation of the USA, Switzerland and Australia were formed in this
manner. Here the process is of integration.

2. Through disintegration. A state which was formerly Unitary may be

transformed into a federation as a result of centrifugal forces. Canada which
was originally Unitary was converted into a federation. Similarly, India, a
unitary state under British rule was broken up and reorganized into

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Course Facilitator Alex Oryang Chono
Lira University - Dept.of PAM. PAM 1101-Introduction to political Science

autonomous Units to form Union of states, a federal structure without a strong

center. The federal constitution for India was drafted by the Constituent
Assembly (1946-49).Here the process is of disintegration.

ESSENTIAL CONDITIONS FOR THE FORMATION OF A FEDERAL

1. Desire for union. A strong desire for union as distinguished from units
is the most essential requisite for the formation of federating small states
which are separate and independent, but locally adjacent may develop a
strong feeling that for defence, rapid economic development and other
reasons, they should federate.
2. Desire for Local autonomy. The various federating units must however
be anxious to retain their local autonomy.If they do not retain their
autonomy, what they intend to form will not be a federation but another
unitary state.
3. Threat of big states. People in certain areas may be under the shadow
of the military threat of big and powerful states. The keen desires for
survival in the light of the continuous threat of an aggressive neighbor
may goad/ provoke small states to come together.
4. Reasonable degree of Homogeneity. A reasonable degree of
homogeneity is another essential requisite for federation. People who are
totally different from one another cannot desire a federation.
5. Good Leadership. A federation can be formed if people’s desires of
having a federation have leaders of great foresight, courage, breadth of
vision, deep sympathy and understanding.
6. Good Caliber of people. Leaders will not be successful in working out
and establishing a federation unless people themselves are educated,
enlightened, competent, public spirited, competent and worthy of a
federation.
7. Love for democracy. People must have experience in running their own
institutions and there should not be much difference between the
political institutions of one area and those of the others.
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Course Facilitator Alex Oryang Chono
Lira University - Dept.of PAM. PAM 1101-Introduction to political Science

8. Geographical contiguity. People should have geographical contiguity for

political, economic and military reasons.
9. Equality among federation Units. Equality among federation units is
very essential.
10. Adequate economic resources. Federation needs ample economic
resources. This is because a federal type of government is definitely more
expensive than the unitary type.

CHARACTERISTICS OF FEDERAL STATES

i. Power is divided between two sets of government, the federal

government and the provinces which are commonly called states. The
federal government retains power in areas such as defence, monetary
policy and foreign affairs while local government or states are
empowered to handle other aspects such as development, education,
provision of health local government expenditure , taxation etc.
ii. Each of the unit or province has its own constitution giving details on
how power is distributed within that state.
iii. The constitution by nature is a rigid one in that it is very difficult to
change. Changing it will require two thirds 2/3 of the members of
parliament of the federal state/government and 2/3 of councilors of
every unit/ Province/ state.
iv. Federal system is characterized by a bicameral parliamentary system
i.e there are normally two chambers. A house of representative based
on one person one vote. This is commonly referred to as the lower
chamber. The upper chamber or second parliament is composed of
representatives from the various states constituting the federal.

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Course Facilitator Alex Oryang Chono
Lira University - Dept.of PAM. PAM 1101-Introduction to political Science

v. Under a federal system, the units are autonomous. They have

significant powers and autonomy over the resources under their
Jurisdiction.
vi. In a federal system, there is often what is regarded as a court of
appeal whose responsibility is to arbitrate any conflict that may arise
between a federal government and the local units.

ADVANTAGES OF A FEDERAL STATE/ GOVERNMENT

i. For union of small states. A federation provides a scope for small

states to come together for solving their political, economic, and
military questions without losing their autonomy.
ii. Scope of autonomy. A federation provides a vast scope of local
autonomy. In large countries where there are various types of
groups, the different regions can come up together in a federation
without losing identity.
iii. Prevents rise of despotism. Federalism is an antidote (remedy) to
central despotism. A federation brings about wide decentralization
of power and does not allow power to fall exclusively in the hands
of the center. A local unit enjoy significant amount of power and
incase the federal state tries to be dictatorial, the local units can
still be used as centers of protests and resistance against the
dictatorship of the center.
iv. Unity with diversity. A federal government blends unity with
diversity. In large countries where there is diversity in race,
language, and culture, federalism is an ideal solution. Each small
cultural group in a region is anxious to retain complexion; it does
not wish to merge with others as it fears its identity may be lost.
v. Scope of training. A federation provides ample scope for training in
the political field. A federal state is a large laboratory in which
there is a scope for experimentation.

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Course Facilitator Alex Oryang Chono
Lira University - Dept.of PAM. PAM 1101-Introduction to political Science

vi. State not vulnerable. Unlike a unitary government, a federal

government is not vulnerable, particularly in times of emergency. A
unitary government may be destroyed when internal rebels or
foreign aggressors attack the central government, the nerve center
of the rebels or foreign aggressors attacking the central
government, the nerve center of the entire country. But in the case
of a federal government, there are different nerve centers and
government cannot be overthrown easily.
vii. Economically profitable. A federalism can be economically
profitable to all the states which forms it for availability of raw
materials, sale of manufactured goods, freedom from tariff walls
and inter –state industry and trade.

DISADVANTAGES OF FEDERAL STATE/ GOVERNMENT

i. Expensive. A federal form of government is more expensive than a

unitary one as two sets of government are required. Only countries
commanding adequate resources can have the federal form of
government.
ii. Complex structures. The governmental machinery is complex. An
ordinary man not having at least some knowledge of political science
in general and of federalism in particular is not able to understand
the complex governmental pattern under a federation.
iii. Controversies and disputes. There may be no cooperation and
coordination between the center and the states in a federation. In
spite of the precaution taken by the makers of a federal constitution,
controversies and conflicts between the center and the Units are
bound to rise.
iv. Difficulty in foreign policy. Particularly in the field of foreign
relation, the weakness of the federal system may be exposed. The
agreement made by the center with a foreign state may not be
allowed to a federated unit. The center for instance in USA may
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Course Facilitator Alex Oryang Chono
Lira University - Dept.of PAM. PAM 1101-Introduction to political Science

promise a state in Asia or Africa that it will not countenance

(tolerate) racial discrimination but all the states may not uphold
this.
v. Divided loyalty of people. A state having a federal government may
not be able to command as much loyalty of the people as a state
with a unitary government because in the former the loyalty of the
citizens are divided between the center and the units but the loyalty
of the citizens in the latter is undivided.
vi. Not as efficient as unitary system. A federal system is not as
efficient as the unitary. In uniformity in national solidarity,
inefficient in services in prompt and energetic action and in several
other matters, a federal government lags behind a unitary
government.

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Course Facilitator Alex Oryang Chono